Transfer Agent Registration and Amendment Form -- Form TA-1

The TA-1 Form is used for initial registration as a transfer agent and subsequent amendments to registration. The OCC uses the information to determine whether to allow, deny, accelerate, or postpone an application. The OCC also uses the data to more effectively schedule and plan transfer agent examinations. When a national bank or federal savings association no longer acts as a transfer agent for covered corporate securities or when the national bank or federal savings association is no longer supervised by the OCC, i.e. liquidates or converts to another form of financial institution, the bank or savings association must file form TA-W with the OCC, requesting withdrawal from registration as a transfer agent. In 2007, the OCC removed the TA-W form from this information collection and began use of the SEC’s TA-W form (OMB Control No. 3235-0151). The OCC is now reinstituting use of the form to alleviate any confusion created by the use of the SEC form.

The latest form for Transfer Agent Registration and Amendment Form -- Form TA-1 expires 2021-04-30 and can be found here.

Registrations

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.